Tag:
SRO
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Latest Headlines
MF Global faces mounting questions
While lawyers for MF Global were in bankruptcy court tying to assure a judge that all assets had been accounted for, more issues kept cropping up. The CME, the main SRO regulating the brokerage,
An SRO for advisors
Since the big battle over a possible fiduciary standard for traditional stock brokers has broken out, it's been said repeatedly that RIAs lack a natural regulator. The SEC is not up to the task right
Better technology to police insider trading?
Not too long ago, people thought the market surveillance systems put in place by FINRA, the SEC and other market centers were so sophisticated that they really were deterring insider trading. People
ECNs poised to hit major milestones
As expected, the SEC has granted BATS Trading exchange status, allowing it to operate as a registered national securities exchange on par with the NYSE and Nasdaq. The transition into an exchange is
